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Eligible Training Programmes

Interested practitioners may apply for reimbursement of the fees of the eligible courses to be held on or after 1 October, 2016.

 

For enrolment, detailed course schedule, course fees, and any other course related questions, please click the relevant hyperlinks or contact the course provider(s) directly.

 

The relevant programmes are listed below.   

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Hong Kong Securities and Investment Institute

 

Programme

 

Course

 

Asset and Wealth Management Annual Regulatory Update 2018

(Class to be conducted in English only)

  
Course 1 - Last Regulatory Updates of the WAM Industry
Course 2 - Opportunities and Challenges of the WAM Industry
Course 3 - WAM Industry Best Practices & Effective Application

Asset Management Fundamentals Programme

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module 3a - Regulation of Asset Management

(5-hour intensive class)

Module 3b - Regulation of Asset Management

(10-hour foundation class)

Module 4 - Asset Management

Back Office Fundamentals for Wealth and Asset Management Programme

 

 

 

 

Module 1 - Overview of Legal and Regulatory Framework for Securities & Futures Industry (*)

(15-hour foundation class)

Module 2 - Financial Markets (*)

Module  3 - Dealing, Clearing and Settlement Practices

Module 4 - Operational requirements under the SFO

Module 5 - Compliance, Risk Management and Controls

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 1 – Technical, Industry and Product Knowledge

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Topic 1 - Overview of PWM Industry, Products and Services

Topic 2 - Fixed Income Investment

Topic 3 - Equity Securities

Topic 4 - Foreign Exchange

Topic 5 - Derivatives

Topic 6 - Structured Products

Topic 7 - Alternative Investments

Topic 8 - Unit Trust and Investment Funds

Topic 9 - Lending and Leverage

Topic 10 - Wealth Planning

Topic 11 - Portfolio Management - Theories & Practices

Topic 12 - Behavioural Finance

Topic 13 - Mainland China and Asia-Pacific Financial and PWM Markets

Topic 14 - Customer Relationship Management

Duties and Liabilities of Responsible OfficersDuties and Liabilities of Responsible Officers
Overview of Legal and Regulatory Framework for Securities & Futures Industry Overview of Legal and Regulatory Framework for Securities & Futures Industry
   

Advanced Level Seminars

 

 

 

 

 

 

 

 

 

 


Factor Investing – Understanding the 3rd Pillar of Investing


Fulfilling Suitability Obligations



The Future of Private Markets & Alternative Assets Market Dynamics and the Impact of Digitisation

Unified Fund Exemption Regime

WAM Regulatory Update 2019 - Practical Challenges of the New Fund Manager Code of Conduct and AML

Implementing Suitability Controls and Procedures

WAM Regulatory Update 2019 - Lessons Learnt from Disciplinary Actions in 2018 Relevant to WAM Practitioners
Collateral Management: Preparing for the imminent SFC changes ahead

Green Bonds and Loans – An Introduction for Investors

Introducing Hong Kong's new corporate fund structure: Open-ended fund companies 

The Outlook for Asset Prices and the Business Cycle

High Net Worth Individuals – Do’s & Don’ts regarding cross-border transactions

(Effective from 15 August 2018 intake)

Portfolio Management: How Roboadvisors apply Modern Portfolio theory

Overview of Hong Kong’s Tax Exemption Regimes for Funds and Common Tax Issues

 Asset Management Industry: The Year 2018 and beyond
Selling and Suitability Process - Practical Guide for Private Banking

 Next Source of Growth for Investment Managers: Is Multi-Asset Strategy the Answer?

 Asset Management Industry: The Year 2017 and beyond
The 3rd CRS Update: What’s next after AEOI Implementation?
 Product Development in Asset Management and the BREXIT Impact
 IFRS9 Matters: Impact on Asset and Treasury Management
Suitability Obligations – Frequently Asked Questions

 

* common courses of both programmes

  

Enquiry: (852) 3120 6100 OR education@hksi.org

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The Hong Kong Institute of Bankers

Programme

 

Course

 

Postgraduate Diploma in Credit Management/ Treasury Management/ Operations Management/ Wealth Management for Certified Banker(#)

Or

Certificate Programmes

1

Bank Lending

or

Certificate in Bank Lending

2

Credit Risk Management

or

Certificate in Credit Risk Management

3

Bank Asset and Liability Management

or

Certificate in Bank Asset and Liability Management

4

Treasury Markets and Operations

or

Certificate in Treasury Markets and Operations

5

Banking Law and Practice

or

Certificate in Banking Law and Practice

6

Operational Risk Management

or

Certificate in Operational Risk Management

7

Business Strategy in Private Wealth Management (^)

or

Certificate in Business Strategy in Private Wealth Management (^)

8

Global Portfolio and Client Relationship Management (^)

or

Certificate in Global Portfolio and Client Relationship Management(^)

 

Enhanced Competency Framework (ECF) on Retail Wealth Management

1

Regulatory Environment for Banking and Financial Planning (RWM)

2

Investment Planning (RWM)

3

Essentials of Banking (RWM)

4

Insurance and Retirement Planning (RWM) 

5

Investment and Asset Management –
Product Solutions (RWM)

6

Investment and Asset Management –
Alternatives and Wealth Solutions (RWM)

7

Financial Planning and Wealth Management (RWM) 

Enhanced Competency Framework Programme

1

Advanced Certificate for ECF on Anti-Money Laundering and Counter-Financing of Terrorism

Enhanced Competency Framework:

Certified Private Wealth Professional (CPWP) Programme: Module 2 – Ethics and Compliance

1

Regulatory Regime in Hong Kong and Requirement on Sale of Investment Products

2

Relevant Laws and Regulations relating to Client Engagement and Relationship Building

3

Ethics and Practical Application of Legal and Regulatory Requirements for Private Banking

4

Risk Management, Risk Governance and Risk Culture of Private Wealth Management Institutions

 

#“Certified Banker” is revamped from"AHKIB" with effective from 1 January 2017.

^ The programmes are under revamp and target to be launched in 2018.

 

Enquiry: (852) 2153 7865 OR programme@hkib.org

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AIIFL/HKU, CLLC and PWMA

     

 

Programme Modules
Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2019)1Financial Laws and Regulations for Private Banking and Wealth Management
2Risk Management for Private Banking and Wealth Management
3Securities Law Compliance for Senior Management
4Risks and Legal and Regulatory
Requirements for Private Bankers and Wealth Management Relationship Managers
5Conduct and Ethics for Private Bankers
and Wealth Management Relationship Managers
6Essentials for Private Banking and Wealth Management Compliance Managers
Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2018)   1Financial Laws and Regulations for Private Banking and Wealth Management
2Securities Law Compliance for Senior Management
3Conduct and Ethics for Private Bankers and Wealth Management Relationship Managers
4Risks and Legal and Regulatory Requirements for Private Bankers and Wealth Management Relationship Managers
5Essentials for Private Banking and Wealth Management Compliance Managers
6Risk Management for Private Banking and Wealth Management
 Certificate in Compliance & Risk Management for Private Wealth Management Professionals (2017)1Financial Laws and Regulations for
Private Banking and Wealth Management
2Essentials for Private Banking and Wealth
Management Compliance Managers
3Risks and Legal and Regulatory
Requirements for Private Bankers and Wealth Management Relationship Managers
4Compliance for Private Banking and
Wealth Management Senior Management, Directors
and Executive Officers (“EO”)
5Conduct and Ethics for Private Bankers
and Wealth Management Relationship Managers
6 Risk Management for Private Banking
and Wealth Management

 

Enquiry:  Ms Flora Leung at (852) 3917 2941 or fkleung@hku.hk 

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Hong Kong Trustees' Association and Hong Kong Securities and Investment Institute

 

ProgrammeModules
 

Trust Training Certificate (TTC)

Unit 1 - Introduction to Trusts

Unit 2 - Types of Trusts and When Appropriate
Unit 3 - Administration and Management of Trusts
Unit 4 - Other Estate Planning Vehicles
Unit 5 - Trusts compared with Other Estate Planning Vehicles
Unit 6 - Trusts and Compliance
Unit 7 - Trusts Jurisdiction Comparison
Unit 8 - Other Trust Vehicles in Details

Unit 9 - The Contents of Trusts and Drafting

Unit 10 - Testamentary Issues & Avoiding Testamentary Disputes

Unit 11 - International Tax - Part 1

Unit 13 - Family Office

Unit 14 - Foundations Law – Part 1

Unit 17 - Trusts and Issues for PRC Nationals

Unit 18 - Trusts for Security Arrangements, Commercial and Employee Benefit Needs

 
 

Unit 19 - Collective Investment Schemes – Part 1 Private Arrangements

Unit 20 - Collective Investment Schemes – Part 2 Public Offering Arrangements

 

Unit 21 - Hong Kong Mandatory Retirement Schemes Trusts - MPF

Unit 22 - Hong Kong Mandatory Retirement Schemes Trusts – ORSO

 

Enquiry: info@hksi.org or 3120 6100

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Hong Kong Quality Assurance Agency and Hong Kong Securities and Investment Institute


 

ProgrammeModules

Green Finance for Wealth and Asset Management (WAM) Professionals

-

 

Enquiry: info@hksi.org or 3120 6100